DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

G••• S••••• V••••• L••

Former SEC-registered adviserBurlington, VermontCRD 105997SEC 801-45304IAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 29, 2012 · 53 filings
RAUM
$55B
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$6.7B gross assets
History
53 filings and snapshots on the tape
RAUM$55B as of Mar 28, 2024
2•••-03-29$42B then
HNW client RAUM$0 as of 2•••-03-27
2•••-03-29$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
2•••-03-2820 then
Employees (5.A)10 as of Mar 28, 2024
2•••-03-2845 then
Private funds5 as of Mar 28, 2024
2•••-03-298 then
RAUM -7.6% over the last fiscal year-2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$852MderivedRAUM over accounts (5.F.2.f)
Discretionary
40%derivedof RAUM
Institutional
76%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$52B, 57 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$28B50%
  • State and municipal entities$14B26%
  • Pooled investment vehicles$13B24%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
47reported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$52B for 57 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• 2••• T••• F•••no longer reportedOther Private Fund$642M262•••-03-29
      T••• F••• 2•••no longer reportedOther Private Fund$291M252•••-03-29
      T••• F••• 2•••no longer reportedOther Private Fund$242M352•••-03-29
      D••••• 2••• T••• F•••no longer reportedOther Private Fund$223M252•••-03-29
      T••• F••• 2•••no longer reportedOther Private Fund$167M392•••-03-29
      T••• F••• 2•••Other Private Fund$146M382•••-03-28
      T••• F••• 2•••no longer reportedOther Private Fund$139M362•••-03-29
      T••• F••• 2•••no longer reportedOther Private Fund$139M352•••-03-31
      D••••• I••••••••• C••• P••• M••••• F••• L••no longer reportedOther Private Fund$139M12•••-03-29
      T••• F••• 2•••no longer reportedOther Private Fund$136M382•••-07-03
      T••• F••• 2•••no longer reportedOther Private Fund$135M352•••-03-30
      T••• F••• 2•••no longer reportedOther Private Fund$116M382•••-03-31
      T••• F••• 2•••no longer reportedOther Private Fund$103M352•••-03-31
      S•••• G••••••••• C••••• F•••no longer reportedOther Private Fund$002•••-03-29
      I••••••••• C••• M••••• F•••no longer reportedOther Private Fund$002•••-03-29
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• W••••••• C•••••• · Chief Operating Officercontrol
        since 01/2024 · owns less than 5%
      • N•••••••• M•••• O••• · Chief Executive Officercontrol
        since 01/2023 · owns less than 5%
      • G•••••••• J•••••• S•••••• · Chief Compliance Officer
        since 05/2••• · owns less than 5%
      • K••••• C•••••••• L• · Chief Legal Officer
        since 05/2••• · owns less than 5%
      Entity owners
      • G•••••• S•••• A•••• M••••••••• L••• · Sole Member Of G••• S••••• V••••, LLC
        direct · owns 75% or more
      • G••• H••••••• L•• · General Partner
        indirect · owns 75% or more of G•••••• S•••• A•••• M••••••••• L•••
      • T•• G•••••• S•••• G••••• I••• · Member
        indirect · owns 75% or more of G••• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • A• R•• A•••••••• L•••••
        pooled vehicle sponsorn
      • A••••••• I••••••••• M••••••••• L•
        investment adviserbankpooled vehicle sponsorLP sponsornRAUM $6.1B
      • A••••••• P••••••• F••• G• L••
        pooled vehicle sponsorn
      • A•••• R••••••••• C••••••• L••••••
        real estaten
      • A•• A••••• A••••••• L••
        pooled vehicle sponsorn
      • B•••••• V••••••• O••••••••• A••••• O••••••• L•
        pooled vehicle sponsorn
      • B•••• S••••• L••• P••••••• I• U•••••••• A•••••••• S•• R•••
        pooled vehicle sponsorn
      • B•••• S••••• P••••••• L•• G•• S•• R•••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• A••••••• L•••••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• I• A••••••• L•••••
        pooled vehicle sponsorn
      • B•••• S••••• S••••• C••••• P••••••• O••••••• A••••••• L•••
        pooled vehicle sponsorn
      • C••• A••••••• L••
        pooled vehicle sponsorn
      • C•••••••• A••••••••• G• L••
        pooled vehicle sponsorn
      • D•• O••••••••• I• A••••• L••
        pooled vehicle sponsorn
      • F•••• I••••••••• I•••
        broker-dealern
      • G•••••• S•••• ••••• F••••••
        broker-dealern
      • G•••••• S•••• ••••• L•••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• ••••• S••••••••• L••••••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• •••••• L•••••
        investment adviserpooled vehicle sponsorn
      • G•••••• S•••• •••••• C•••••• M•••••• P•••••• L••••••
        broker-dealern
      • G•••••• S•••• •••••• S••••••••• P•••••• L••••••
        broker-dealerinvestment advisern
      • G•••••• S•••• ••••••••• P•••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• • C•• L••
        broker-dealerinvestment adviserbanktrust companynRAUM $134B
      • G•••••• S•••• A••••• F•••• G•• L••
        pooled vehicle sponsorn
      • G•••••• S•••• A••••••••• A••••• S•• R••
        pooled vehicle sponsorn
      • G•••••• S•••• A•••• M••••••••• •••• K•••• L••••••
        investment advisernRAUM $21B
      • G•••••• S•••• A•••• M••••••••• •••••• P•••••• L••••••
        investment adviserpooled vehicle sponsorn
      • G•••••• S•••• A•••• M••••••••• ••••••••• P••• L•••
        broker-dealerinvestment adviserbankpooled vehicle sponsornRAUM $14B
      • G•••••• S•••• A•••• M••••••••• A•••••••• P•• L••
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • G•••••• S•••• A•••• M••••••••• B•••
        investment adviserpooled vehicle sponsorn
      Advisers that list G••• S••••• V••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 63 to 65
        Jan 30, 2024 to Mar 28, 2024
      • BD registered reps · 10 to 9
        Jan 30, 2024 to Mar 28, 2024
      • Assets in custody · $59B to $52B
        Jan 30, 2024 to Mar 28, 2024
      • Employees · 11 to 10
        Jan 30, 2024 to Mar 28, 2024
      • Discretionary RAUM · $25B to $22B
        Jan 30, 2024 to Mar 28, 2024
      • Non-discretionary RAUM · $35B to $33B
        Jan 30, 2024 to Mar 28, 2024
      • Pension RAUM · $30B to $28B
        Jan 30, 2024 to Mar 28, 2024
      • Pooled vehicle RAUM · $15B to $13B
        Jan 30, 2024 to Mar 28, 2024
      • RAUM · $60B to $55B
        Jan 30, 2024 to Mar 28, 2024
      • Accounts · 64 to 63
        Feb 9, 2023 to Mar 31, 2023
      • Advisory activities · 4 to 6
        Feb 9, 2023 to Mar 31, 2023
      • BD registered reps · 9 to 10
        Feb 9, 2023 to Mar 31, 2023
      • Charity clients · 0.0 to unset
        Feb 9, 2023 to Mar 31, 2023
      • Corporate clients · 27.0 to unset
        Feb 9, 2023 to Mar 31, 2023
      • HNW clients · 0.0 to unset
        Feb 9, 2023 to Mar 31, 2023
      • Individual clients · 0.0 to unset
        Feb 9, 2023 to Mar 31, 2023
      • Pension plan clients · 21 to 47
        Feb 9, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 8 to 7
        Feb 9, 2023 to Mar 31, 2023
      • Employees · 10 to 11
        Feb 9, 2023 to Mar 31, 2023
      • Private funds · 6 to 5
        Feb 9, 2023 to Mar 31, 2023
      • Discretionary RAUM · $23B to $25B
        Feb 9, 2023 to Mar 31, 2023
      • Non-discretionary RAUM · $35B to $35B
        Feb 9, 2023 to Mar 31, 2023
      • Pension RAUM · $26B to $30B
        Feb 9, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $15B to $15B
        Feb 9, 2023 to Mar 31, 2023
      • RAUM · $59B to $60B
        Feb 9, 2023 to Mar 31, 2023
      • Advisory employees · 9 to 6
        2•••-02-11 to 2•••-03-31
      • BD registered reps · 10 to 9
        2•••-02-11 to 2•••-03-31
      • Corporate clients · 26 to 27
        2•••-02-11 to 2•••-03-31
      • Assets in custody · $60B to $59B
        2•••-02-11 to 2•••-03-31
      • Employees · 12 to 10
        2•••-02-11 to 2•••-03-31
      • Discretionary RAUM · $24B to $23B
        2•••-02-11 to 2•••-03-31
      • Non-discretionary RAUM · $36B to $35B
        2•••-02-11 to 2•••-03-31
      • Pension RAUM · $27B to $26B
        2•••-02-11 to 2•••-03-31
      • Pooled vehicle RAUM · $15B to $15B
        2•••-02-11 to 2•••-03-31
      • RAUM · $60B to $59B
        2•••-02-11 to 2•••-03-31
      • Accounts · 63 to 64
        2•••-01-13 to 2•••-03-31
      • Advisory employees · 10 to 9
        2•••-01-13 to 2•••-03-31
      • BD registered reps · 11 to 10
        2•••-01-13 to 2•••-03-31
      • Corporate clients · 24 to 26
        2•••-01-13 to 2•••-03-31
      • Assets in custody · $54B to $60B
        2•••-01-13 to 2•••-03-31
      Signals
      15 dated events
      • Charles W•••••• B••••••••• (Chief Operating Officer) appeared on Schedule A of G••• S••••• V••••• L••
        Jan 30, 2024 · Control person joined · fact
      • Otto Marc Nachmann (Chief Executive Officer) appeared on Schedule A of G••• S••••• V••••• L••
        Apr 4, 2023 · Control person joined · fact
      • Charles Julian Salisbury (Co-Chief Executive Officer) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-12-14, absent 2023-02-09)
        Feb 9, 2023 · Control person left · inference
      • Aloysius Luke Sarsfield (Co-Chief Executive Officer) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-12-14, absent 2023-02-09)
        Feb 9, 2023 · Control person left · inference
      • Otto Marc Nachmann (Chief Executive Officer) appeared on Schedule A of G••• S••••• V••••• L••
        Feb 9, 2023 · Control person joined · fact
      • Aloysius Luke Sarsfield (Co-Chief Executive Officer) appeared on Schedule A of G••• S••••• V••••• L••
        2•••-11-10 · Control person joined · fact
      • Joseph Cortese (Chief Compliance Officer) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-03-31, absent 2•••-05-19)
        2•••-05-19 · Control person left · inference
      • Stephen Joshua Grossman (Chief Compliance Officer) appeared on Schedule A of G••• S••••• V••••• L••
        2•••-05-19 · Control person joined · fact
      • Aloysius Luke Sarsfield (Co-Chief Executive Officer) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-02-11, absent 2•••-03-31)
        2•••-03-31 · Control person left · inference
      • Aloysius Luke Sarsfield (Co-Chief Executive Officer) appeared on Schedule A of G••• S••••• V••••• L••
        2•••-02-11 · Control person joined · fact
      • Scott Eric Lane (Co-Head, Asset Management Division Of Gsam L.P. (Co-Chief Executive Officer)) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-01-13, absent 2•••-03-31)
        2•••-03-31 · Control person left · inference
      • Reed Michael Mclaughlin (Chief Compliance Officer) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-01-13, absent 2•••-03-31)
        2•••-03-31 · Control person left · inference
      • Joseph Cortese (Chief Compliance Officer) appeared on Schedule A of G••• S••••• V••••• L••
        2•••-03-31 · Control person joined · fact
      • Joseph Timothy Oneill (Co-Head, Consumer Investment Management Division Of Gsam L.P. (Co-Chief Executive Officer)) no longer on Schedule A of G••• S••••• V••••• L•• (listed 2•••-10-26, absent 2•••-01-11)
        2•••-01-11 · Control person left · inference
      • Julian Salisbury (Co-Head, Asset Management Division (Co-Chief Executive Officer)) appeared on Schedule A of G••• S••••• V••••• L••
        2•••-01-11 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026